David John Nicholas

Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

Fairstone Financial Management Limited (no longer approved here)
FRN 475973
- [FCA CF] Client dealing (15 Jun 2020 to 14 Feb 2022)
- [FCA CF] Functions requiring qualifications (15 Jun 2020 to 14 Feb 2022)
Compass Financial Services Limited (no longer approved here)
FRN 224307
- Employed By (19 May 2004 to 30 Dec 2005)
GMT Mortgage Bureau and Financial Consultancy (no longer approved here)
FRN 191184
- (9)Employed By (15 Mar 2001 to 28 Jun 2002)

Updates to this individual's record on the FCA register.

9 hours ago
controlled function added: (9)Employed By at GMT Mortgage Bureau and Financial Consultancy

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.